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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Based Restricted Stock Units | $ 0 | 03/13/2019 | A | 17,987 (1) | 08/15/2019(2) | 08/15/2019 | Common Shares | 17,987 | $ 0 | 17,987 | D | ||||
Performance Based Restricted Stock Units | $ 0 | 03/13/2019 | A | 21,300 (1) | 08/15/2019(2) | 08/15/2019 | Common Shares | 21,300 | $ 0 | 21,300 | D | ||||
Performance Based Restricted Stock Units | $ 0 | 03/13/2019 | A | 29,520 (3) | 04/15/2020(4) | 04/15/2020 | Common Shares | 29,520 | $ 0 | 29,520 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Christman Dan 5488 MARVELL LANE SANTA CLARA, CA 95054 |
EVP, Storage Business Group |
Dan Christman by Blair Walters as Attorney-in-Fact | 03/15/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Reflects the number of shares earned in respect of performance based restricted stock units originally granted on August 29, 2016. The Compensation Committee of the Board of Directors certified the achievement levels of the relative TSR performance metrics applicable to the award and the number of shares earned based on such results on March 13, 2019. |
(2) | These performance based restricted stock units vest on August 15, 2019. |
(3) | Reflects the number of shares earned in respect of performance based restricted stock units originally granted on April 15, 2017. The Compensation Committee of the Board of Directors certified the achievement levels of the operational performance metrics applicable to the award and the number of shares earned based on such results on March 13, 2019. |
(4) | These performance based restricted stock units vest on April 15, 2020. |